Senior Vice President of Compliance - New York - 15339BR

Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $4.4 billion in 2018, employs approximately 13,100 people worldwide and maintains a presence in 42 countries. Further information is available at
Moody’s Shared Services are the front line professionals including Finance, Technology, Legal, Compliance and Human Resources, that operationally support our business units. Exceptional Shared Services teams are vital to the international success of our business.


As the Business Unit Compliance Officer for the MIS Global Commercial line, provide critical “face of compliance” support, guidance and advice to all members and teams of the Commercial Group

Job Description

Serve as the single point of coordination among compliance, legal and government and public affairs for analyzing and responding to new Commercial-initiated product developments and bespoke product requests for individual MIS customers
Manage a compliance professional responsible for EMEA Commercial matters
Advise Commercial employees on codes of conduct and policies and procedures regarding such matters as securities trading responsibilities, conflicts of interest, outside business interests, gifts and entertainment restrictions, separation, recordkeeping, and regulatory reporting requirements
Training Commercial Group team members on compliance policies and procedures
Delivering and reinforcing compliance-initiated communications relating to new developments such as revisions to policies and procedures, new or enhanced requirements and controls, etc.
Coordinate with other Business Unit Compliance Officers and with local compliance officers to ensure consistent, timely and accurate responses to inquiries
Provide critical subject matter expertise for pertinent compliance policies and procedures as well as identified risk areas
Assist the Commercial Group in responding to regulatory examination and other inquiries
Spot issues, analyze compliance exception trends, and recommend remedial actions to senior management within the assigned line of business
Represent compliance at staff meetings
Demonstrate strong decision-making skills, as well as influencing ability
Lead ad hoc projects and actively contribute to project teams on large-scale initiatives


10-15+ years of experience as a compliance professional supporting internal business groups with a demonstrated record of excellence
Law degree of background in risk management/audit desirable
Experience in fixed income, capital markets, credit environments preferred
Strong and effective oral and written communication skills, including active listening skills and skills at creating and delivering training and topical presentations to teams, groups, and members of senior management
Affinity for project work and problem-solving, with proven track record in identifying and analyzing relevant considerations, developing sound recommendations and presenting findings and recommendations in a clear and concise manner
Ability to take initiative and work with minimal supervision on independent assignments, and also to work effectively with teams
Competing demands on time from a diverse set of internal employees require a high degree of flexibility and excellent time management skills
Must be able to develop credibility with business and compliance stakeholders, and work well under pressure
Comfortable working in an environment of regulatory change
Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody’s also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

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Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.